Laws and Regulations Terms

  1. Jumpstart Our Business Startups Act - JOBS

  2. Jurisdiction Risk

  3. Katie Couric Clause

  4. Large Trader

  5. Legal Lending Limit

  6. Legal Rate Of Interest

  7. Legend

  8. Legislative Overkill

  9. Letter Of Comment

  10. Letters Patent

  11. Lilly Ledbetter Fair Pay Act

  12. Limited Power Of Attorney - LPOA

  13. Liquidated Damages

  14. Listing Requirements

  15. Locked Market

  16. Loophole

  17. Loss Disallowance Rule - LDR

  18. Maintenance Margin

  19. Malfeasance

  20. Market Capitalization Rule

  21. Market Performance Committee

  22. Markets in Financial Instruments Directive - MiFID

  23. Master-Servant Rule

  24. Material Insider Information

  25. Mechanic's Lien

  26. Mineral Rights

  27. Minimum-Interest Rules

  28. Misappropriation Theory

  29. Multijurisdictional Disclosure System - MJDS

  30. National Association Of Securities Dealers - NASD

  31. National Market System Plan - NMSP

  32. National Treatment

  33. NCUA-Insured Institution

  34. Nevada Corporation

  35. No-Shop Clause

  36. Non-Covered Security

  37. Non-Disclosure Agreement - NDA

  38. Non-Negotiable

  39. Non-Open Market

  40. Non-Resident

  41. Nonfeasance

  42. Nonresident Alien

  43. Notice Filing

  44. Novation

  45. Office Of Thrift Supervision - OTS

  46. Oil Pollution Act Of 1990

  47. Ombudsman

  48. Ontario Securities Commission - OSC

  49. Open-Market Transaction

  50. Option Schedule

  51. Options Backdating

  52. Options Clearing Corporation - OCC

  53. Order Protection Rule

  54. Organic Act of the Department of Labor

  55. Over-The-Counter Bulletin Board - OTCBB

  56. Patent

  57. Patent Reexamination

  58. Periodic Payment Plan Certificate

  59. Poop

  60. Power Of Attorney

  61. Power of Attorney of Property

  62. Pre-Syndicate Bid

  63. Preliminary Prospectus

  64. Preparer Tax Identification Number - PTIN

  65. Price Cap Regulation

  66. Primary Exchange

  67. Principal-Agent Relationship

  68. Private Securities Litigation Reform Act – PSLRA

  69. Pro-Tanto

  70. Promissory Estoppel

  71. Proxy Statement

  72. Prudent Investor Act

  73. Prudent Investor Rule

  74. Prudent-Person Rule

  75. Public Offering

  76. Pujo Committee

  77. Punitive Damages

  78. Qualified Domestic Relations Order - QDRO

  79. Qualified Institutional Buyer - QIB

  80. Quiet Filing

  81. Quiet Period

  82. Quiet Title Action

  83. Rate Of Return Regulation

  84. Recourse

  85. Registered Investment Advisor - RIA

  86. Registrar

  87. Regulation 9

  88. Regulation A

  89. Regulation AA

  90. Regulation B

  91. Regulation BB

  92. Regulation C

  93. Regulation CC

  94. Regulation D - Reg D

  95. Regulation DD

  96. Regulation E

  97. Regulation EE

  98. Regulation F

  99. Regulation Fair Disclosure - Reg FD

  100. Regulation G

Hot Definitions
  1. Marginal Analysis

    An examination of the additional benefits of an activity compared to the additional costs of that activity. Companies use marginal analysis as a decision-making tool to help them maximize their profits. Individuals unconsciously use marginal analysis to make a host of everyday decisions. Marginal analysis is also widely used in microeconomics when analyzing how a complex system is affected by marginal manipulation of its comprising variables.
  2. Treasury Inflation Protected Securities - TIPS

    A treasury security that is indexed to inflation in order to protect investors from the negative effects of inflation. TIPS are considered an extremely low-risk investment since they are backed by the U.S. government and since their par value rises with inflation, as measured by the Consumer Price Index, while their interest rate remains fixed.
  3. Gilt-Edged Switching

    The selling and repurchasing of certain high-grade stocks or bonds to capture profits. Gilt-edged switching involves gilt-edged security, which can be high-grade stock or bond issued by a financially stable company such as the Blue Chip companies or by certain governments.
  4. Master Limited Partnership - MLP

    A type of limited partnership that is publicly traded. There are two types of partners in this type of partnership: The limited partner is the person or group that provides the capital to the MLP and receives periodic income distributions from the MLP's cash flow, whereas the general partner is the party responsible for managing the MLP's affairs and receives compensation that is linked to the performance of the venture.
  5. Class Action

    An action where an individual represents a group in a court claim. The judgment from the suit is for all the members of the group (class).
  6. Retail Sales

    An aggregated measure of the sales of retail goods over a stated time period, typically based on a data sampling that is extrapolated to model an entire country. In the U.S., the retail sales report is a monthly economic indicator compiled and released by the Census Bureau and the Department of Commerce.
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